SEBI
SEBI | A potential ‘No’ turned into a definite ‘Yes’| Yes Bank camouflaged risk with devious safeguards to lure investments in AT1 bonds| Attracted a Rs 25 crore penalty
Securities and Exchange Board of India (SEBI): Soma Majumder, Adjudicating Officer, imposed a 25 crore penalty on Yes Bank Ltd. (YBL), and
SEBI | Reliance ménage in trouble; Irregular shareholding, default in trading regulations | Obtruded with a ₹ 25 crore penalty
Securities and Exchange Board of India (SEBI): K Saravanan, Adjudicating authority, imposed a penalty of Rs 2 crore on Reliance Industries Ltd.
SEBI | What could give a ‘semblance of credibility on first blush’, denied on ‘second’| Fraudulent issuance of GDR dealt suitably | Directed to disgorge
Securities and Exchange Board of India (SEBI): S.K. Mohanty (Whole Time Member) in a detailed 92 paged order, barred six individuals and
SAT | Separate penalties by the stock exchanges can be imposed | While positing, rejects appeal
Securities Appellate Tribunal (SAT): A Coram of Tarun Agarwala, J., (Presiding Officer) and M.T. Joshi, J., (Judicial Member) while dismissing an appeal
SEBI | ‘Diligence is due diligence done diligently’-Impliedly volumed | Recommendations revised attributing to the gravity of the lapses
Securities Exchange Board of India (SEBI): G Mahalingam, (Whole Time Member) while revising the recommendations made by the Designated Authority (DA) considering
SEBI | On account of active and willful issuance of fake and bogus contract notes, stockbroker registration cancelled
Securities and Exchange Board of India (SEBI): G. Mahalingam (Whole Time Member), while exercising powers conferred under Section 12(3) read with Section
Ker HC | Inappropriate for Court to interfere with statutory proceedings at show-cause stage; HC dismisses petition against SEBI
Kerala High Court: N. Nagaresh, J., addressed the instant petition filed by a Non-Banking Finance Company to challenge show-cause notices issued by
SEBI grants an exemption to ‘Pantone’ from takeover norms with respect to acquisition of shares in Tata Communications Ltd.
Security and Exchange Board of India (SEBI): S.K. Mohanty, (Whole Time Member) had granted exemptions to Pantone Finvest Ltd., from complying with
SAT | Selling only one share per transactions despite having adequate holding creates false misleading appearance of trading in the securities market and is violative of Regulation 3 and 4 of PFUTP Regulations
Securities Appellate Tribunal (SAT): Justice Tarun Agarwala, Presiding Officer, Dr C.K.G. Nair Member and Justice M.T. Joshi, Judicial Member affirmed the impugned
SEBI bans Kishor Biyani and other promoters of FRL from securities market; Rs 17.78 crore to be disgorged for the wrongful gains made by them
Security and Exchange Board of India (SEBI): Ananta Barua, (Whole Time Member) found Chairman of Future Group, Kishor Biyani and its other
Noticing “unauthorised activities”, SEBI passes ex parte order against National Stock Advisory Research prohibiting its activities in stock market
Security and Exchange Board of India (SEBI): Madhabi Puri Buch, (Whole Time Member) issued ex-parte order against National Stock Advisory Research (NSAR)
SEBI directs HDFC to deposit Rs 158.68 Crore in Escrow Account in BRH Wealth Kreators case; Penalty of Rs 1 Crore imposed
Security and Exchange Board of India (SEBI): G. Mahalingam (Whole Time Member) imposed a penalty of Rupees One Crore on HDFC Bank
Ex-parte order passed against TV anchor Hemant Ghai restraining him from trading in securities
Madhabi Puri Buch, Whole Time Member, SEBI in an interim order has restrained Hemant Ghai, co-anchor of a television show Stock 20-20
Establishment of direct quantified damage/loss to an investor in personam is not an essential ingredient to prove charges of price manipulation; SEBI explains
Securities and Exchange Board of India (SEBI): S.K. Mohanty, (Whole Time Member) while holding the Noticees liable for manipulative trade practises explained,
SEBI grants limited relaxation to Noticees for inter alia availing benefits of corporate actions during restraint period
Securities and Exchange Board of India (SEBI): G. Mahalingam, (Whole Time Member) has granted limited relaxations to the noticee, namely N. Ravichandran,
SEBI | Permitting investors to receive portfolio management services from unregistered entity causes irreparable injury to securities market; SEBI’s objective not only protection of investors but also orderly development of market
Security and Exchange Board of India (SEBI): Madhabi Puri Buch, (Whole Time Member) imposed certain restrictions on GJ Advisory Services and Profit
SEBI notifies SEBI (Alternative Investment Funds) (Amendment) Regulations, 2021; Amends ‘General Obligations’ relating to constitution of Investment Committee by the Manager
Securities and Exchange Board of India (Alternative Investment Funds) (Amendment) Regulations, 2021 SEBI amends the Securities and Exchange Board of India (Alternative
SEBI (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2021
Securities Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2021 In Regulation 112 of Securities and Exchange Board
SEBI | Reliance Industries Ltd. and it’s MD Mukesh D. Ambani found indulged in fraudulent trade practises, an exemplary penalty of Rs 25 crore and 15 crore imposed respectively by SEBI
Security and Exchange Board of India (SEBI): B J Dilip, (Adjudicating Officer) imposed the penalty of 25 crores and 15 crore respectively